PHILADELPHIA STOCK EXCHANGE, INC, In the Matter of Arbitration Between Tague Securities Corporation, Claimant v. Ira Rosenberg, Respondent Decision MM Formal Claim File #95-09 Claimant filed a Statement of Claim with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on October 31, 1995. Damages were sought in the amount of $36,828.31 for monies owed respecting trading losses arising under a joi

PHILADELPHIA STOCf. EXCHANGE, INC, In the Matter of Arbitration Between Prudential Securities, Inc. Claimant v. John Hays, Respondent Decision MM File #95-08 Claimants filed its Statement of Claim with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on September 11, 1995. Damages were sought in the amount of $101,179.70 for monies owed with respect to an obligation to repay a "Draw". Respondent's

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Marc F. Desiderio and John J. Kingston, Claimants V. Adler, Coleman Clearing Corp. and Wagner Stott Clearing Corp., Respondents Decision MM File #95-05 Claimants filed their Statement of Claim and Amended Claim with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on June 14, 1995 and August 2, 1995, respectively. Damages w

In the Matter of Arbitration Between Michael B. Thorpe, Claimant V. Olde Discount Corp. Respondent Decision File #95-02 Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on May 8, 1995. Claimant's Harrasment allegations stemmed from Respondent's collection efforts with respect to the alleged purchase by Claimant of 1000 shares

PHILADELPHIA STOCK EXCHANGE, INC, In the Matter Robb, E Les of Peck, slee Arbit ration Between : McCooey, : Claimant : V . Berger, Respondent : Decision MM File #95-02 Claimant filed a Statement of Claim ("Claim") against Respondent on February 9, 1994 alleging Ms. Berger's failure to pay commission bills in excess of $6,000.00. In lieu of filing an Answer, Respondent entered into a Settlement Agreement with C

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between Cesare Protto, Mark Wren, Claimant Respondent Decision MM #95-02 Claimant filed his Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on January 24, 1995. Claimant alleged that Mark Wren, Claimant's employee, terminated his relationship in violation of employment arranged

PHILADELPHIA STOCK L.XCHANGE, INC In the Bl St Matt oom even er of Arbitration Between : Staloff Corporation, : J Claimant : Goldstein, : Respondent Decision Member - Member. File #95-01 Claimant filed a Statement of Claim with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received on January 23, 1995. Claimant sought to recover damages in excess of $500,000.00 plus attorney fees, costs and expe

PHILADELPHIA STOCK EXCHANGE, INC, In the Matter of Arbitration Between Edgar W. Almquist, Claimant V. Kemper Securities, Inc. Respondent Decision Formal Claim File #95-01 Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on February 6, 1995. Claimant alleged Respondent forged signatures on non-agreed to margin account docum

PHILADELPHIA STOCK EXCHANGE, INC. In the Matter of Arbitration Between: Lawrence A. DeMaio, Claimant V. Investors Associates, Inc. and David J. Britton, Respondents Decision File #94-28 A preliminary hearing conference, via telephone, was held on Thursday, February 16, 1995 at 10:00 A.M. Arbitrators Joseph H. Tucker, Jr., Esquire and Andrew Davitt, Esquire presided. Oral argument was presented to the arbitrators with respect to R

PHILADELPHIA STOCK EXCHANGE, INC. Decision ^ IT"'^ T In the Matter of Arbitration Between Robert M. Kerwick, Claimant V. Nancy Schroeder and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents • Claimant filed a Statement of Claim and notarized Submission Agreement with the Philadelphia Stock Exchange, Inc. ("Exchange") which was received by the Exchange on July 20, 1994. Claimant alleged suitability and lost use of